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14 May 2011, 11:12 am
Private right of action. [read post]
14 May 2011, 11:12 am
" Private right of action. [read post]
26 Sep 2013, 4:07 pm
See 8 CFR 214.2(h)(4)(iii)(C)(4). [read post]
6 Dec 2010, 5:00 am
I expect to see several more in the “yes” column before July 21, 2011, the registration deadline under Dodd-Frank. [read post]
9 Apr 2021, 6:35 am
Concerns include risks from fees, conflicts, and sponsor compensation, from celebrity sponsorship and the potential for retail participation drawn by baseless hype, and the sheer amount of capital pouring into the SPACs, each of which is designed to hunt for a private target to take public. [4] With the unprecedented surge has come unprecedented scrutiny, and new issues with both standard and innovative SPAC structures keep surfacing. [read post]
5 Nov 2010, 9:04 am
You cannot engage in the securities business until the registration is complete. [read post]
29 May 2008, 7:09 pm
InformationWeek has a summary here.Among other things, she addresses what she calls "the fear, uncertainty and doubt" being raised by opponents of the bill, including the following:"Myth #4: The bills would mandate registration of all visual art in expensive, private registries, and not registering a work would automatically orphan it.... [read post]
12 Mar 2009, 2:46 pm
Comparison Private Offering. [read post]
12 Aug 2012, 7:55 pm
Benn Protess, Regulator Seeks Feedback on JOBS Act, NYTimes.com (Apr. 11, 2012, 4:16 PM), 4. [read post]
24 Mar 2014, 8:59 am
The Registrar Accreditation Agreement (RAA) calls for registrars (the GoDaddys and Network Solutions of the world) to retain information about domain name registrants after their registrations change or expire (at least in part, to assist law enforcement and private enforcement of legal rights). [read post]
25 Mar 2014, 10:17 am
In addition, some of CEC’s compliance policies incorrectly described the custody rule, Rule 206(4)-2(b) under the Investment Advisers Act of 1940. [read post]
27 Apr 2023, 9:01 pm
And so are directors and management teams at corporates, whether public or private. [read post]
7 Mar 2013, 9:01 pm
Cruickshank reports that ending GOP obstruction in California was a five-point process: (1) Mass organizing effort to expand the electorate; (2) Ending the supermajority procedural rules of the Assembly; (3) Making voting easier via online registration and voting by mail; (4) ending gerrymandering; and (5) clearly identifying the problem: GOP obstructionism. [read post]
21 Feb 2010, 11:21 pm
In the matter of Smuts v Booyens; Markplaas (Edms) Bpk and Another v Booysens [2001] ZASCA 57 (also 2001 (4) SA 15 (A)) the court held that the word “transfer” consisted of a number of steps within a private company setting: (a) an agreement to transfer, (b) the execution of the transfer document, and (c) registration of transfer. [read post]
9 Aug 2011, 2:00 am
No. 33-9186 (February 9, 2011). [4] See Final Rule: Security Ratings, Rel. [read post]
13 Apr 2020, 8:23 am
The findings stated that Tweed negligently misrepresented or failed to disclose all of the fees and expenses associated with an investment in the private fund. [read post]
31 Aug 2014, 12:49 pm
Thanks.This post includes a draft of Chapter 4 (Law Articulated by the Courts--Equity). [read post]
21 Oct 2023, 12:13 pm
§ 1.6662-4(d)(3)(iii) may be considered. [read post]
10 Apr 2022, 9:01 pm
Climate-related disclosures within registration statements, including information filed in annual reports and incorporated by reference, will also be subject to liability provisions under the Securities Act of 1933 and will not be afforded protections under the forward-looking safe harbors pursuant to the Private Securities Litigation Reform Act. [read post]
4 Apr 2011, 4:45 am
Is sold, given away or dies; or 4. [read post]
